GEM Listing Rules 
22/07/2016 
 

(Update No. 53)  

Appendices

1 Contents of Listing Documents
A - Equity securities (of an issuer no part of whose share capital is already listed)
B - Equity securities (of an issuer some part of whose share capital is already listed)
C - Debt securities
2 Documents of Title
A - Temporary
B - Definitive
3 Articles of Association
4 Trust Deeds or Other Documents Securing or Constituting Debt Securities
5 Forms Relating to Listing
A - Application for Listing - Equity securities (of an issuer no part of whose share capital is already listed)
B - Application for Listing - Equity securities (of an issuer some part of whose share capital is already listed)
C - Application for Listing - Debt securities
D - Marketing statement (concerning a placing of equity securities)
E - Issuer's declaration of compliance
F - Company information sheet
6 Director's and Supervisor's Forms
A - Director's declaration, undertaking and acknowledgement
B - Director's declaration, undertaking and acknowledgement (PRC issuer)
C - Supervisor's declaration, undertaking and acknowledgement (PRC issuer)
7 Sponsor's Forms
A - Application form
B - Declaration by principal supervisor
C - Declaration by assistant supervisor
D - Review form for continuing eligibility
E - Review form for principal supervisor
F - Review form for assistant supervisor
G - Sponsor's declaration in support of a new applicant
H - Compliance Adviser's declaration of interests
I - Sponsor's declaration of compliance concerning a new applicant
J - Declaration in relation to certain listing documents issued by an issuer
K - Sponsor's Undertaking and Statement of Independence
M - Compliance Adviser's undertaking
8 [REPEALED]
9 Listing Fees, Transaction Levies and Trading Fees on New Issues and Brokerage
10 Model Forms of Formal Notice
A - Offers for sale or subscription
B - Introduction
C - Placing
D - Debt Issues to Professional Investors Only
11 Additional Requirements in Respect of Certain Jurisdictions
A - Bermuda
B - The Cayman Islands
C - The PRC
12 Securities and Futures (Stock Market Listing) Rules
13 Independent Financial Adviser's Declaration Relating to Independence
14 Independent Financial Adviser's Undertaking
15 Corporate Governance Code and Corporate Governance Report
16 [MERGED WITH APPENDIX 15]
17 Headline Categories
18 Content of a Competent Person's Report for Petroleum Reserves and Resources
19 Summary Form of Disclosure for Property Interests
20 Environmental, Social and Governance Reporting Guide